Compliance Officer

Resource Management Ltd
Bristol (City Centre)
10 Jan 2018
09 Feb 2018
Contract Type
Full Time

Compliance Officer

Location: Chipping Sodbury

Contract type: Permanent

Salary: £25k to £35k (dependant on skills and experience) + Excellent company benefits

  • Do you have previous experience in dealing with TOBAs (Terms of Business Agreements) and legal agreements?
  • Do you have experience working within Insurance/Brokers?
  • Are you driven, motivated and ambitious?

The Role:

Working within the Markets division, you will be supporting the Agency Manager in managing all Provider Terms of Business agreements within the Insurance department

We are looking for an individual who are able to use their own initiative, to take responsibility reviewing the regulatory elements of provider TOBAs, reviewing agreements and carrying out due diligence on Insurers

Due to our clients continued success, we have a fantastic permanent opportunity for an Agency Technical Administrator to join their team in Chipping Sodbury.

The Candidate:

  • Must have experience working within Insurance
  • Must have previous experience in TOBAs (Terms of Business Agreements) and/or legal agreements.
  • Understanding of FCA CASS requirements
  • Acturis experience is preferred
  • Cert CII preferred or must be willing to work towards
  • Self-Motivated individual
  • Excellent communication skills
  • Good organisational skills to ensure that company processes and procedures are put in place
  • Achieving results
  • To be able to forward plan effectively
  • Customer Service experience
  • Problem solving

Key Responsibilities:

  • To support the Agency Manager (Markets) in managing all Terms of Business agreements (TOBAs) within the Insurance division (including General Insurance and Direct and Partnership (JIB Ltd).
  • To promote good regulatory practices and controls.
  • To take responsibility for reviewing the regulatory elements of provider TOBAs, including:
  • Performing due diligence checks on each provider and recording information onto TOBA register
  • Ensuring solvency of our providers in line with solvency requirements
  • Review of the agreement, bringing the agreement into line with standards including evidencing compliance with FCA CASS requirements
  • Arranging necessary wholesaling permissions where required, liaising with Compliance team where necessary
  • Liaise with provider to resolve any queries over TOBA permissions
  • Arrange signature of TOBA
  • Maintaining accurate internal records on central drive and TOBA register
  • Assist the business and Acturis Helpdesk with agency queries

How to apply

To be considered for this role, please click 'apply' or for more information please contact

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